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About Standard Chartered We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.
To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.
We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.
The Role Responsibilities & Our Ideal Candidate
Support and implement the vision, strategy, direction and leadership for Compliance Surveillance Data and Analytics team, consistent with Global Head Compliance Surveillance vision and strategy for the Compliance function and in support of the Bank's strategic direction and growth aspirations.
Promote the culture and practice of compliance with compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Bank and embed a Here for good culture and the Group Code of Conduct.
Responsible for and own the data and systems product stream for Group-wide Surveillance as well as the delivery of the DQMF process and standards to the Group CDO.
Build and maintain an effective and constructive relationships with all key business and functional stakeholders that is based on trust, capability and integrity, providing timely, responsive and quality advice and guidance to enable the business and functions to meet/ achieve their strategic and tactical objectives:
Partner with ITO to ensure clarity of roles & Responsibilities, good partnership, clear communications and delivery. ITO Surveillance in the process of moving to a more agile way of working; to help facilitate, support and hold the team to delivery of this approach.
Partner with Heads of Surveillance Products/Segments to ensure optimal delivery of platform in line with risk coverage objectives.
Collaborate with vendors - First Derivative (KX, trade platform), Digital Reasoning (e-Comms platform), Nice Nexidia (v-Comms solution).
Provide robust challenge to senior management and all relevant stakeholders where activities are outside risk tolerance / appetite, escalating as necessary, until appropriate oversight and ownership is achieved including actions and plans to address any remedial action needed to come back within risk tolerance / appetite.
Facilitate the Surveillance Control team accessing data in systems as required for reporting, MI, Audit, Regulatory enquiries etc.
Delivery of Compliance Surveillance obligations against DQMF
Regular and diarised catch ups with all key business stakeholders.
Oversight of Technology and Project Management office budget with active responsibility to ensure the budget resources are allocated accordingly.
Establish and maintain effective processes (including training, advice and support) to ensure that systems and delivery are effectively implemented and adhered to across .
Provide support and challenge to the Bank's senior management to ensure that they establish and monitor appropriate processes, procedures and standards (including meeting regulatory obligations and maintaining high standards of conduct).
Group wide process ownership including ownership of processes that met Group policy for DQMF.
Group wide and Global project ownership for all technology and data related projects for Group Surveillance, including Surveillance communications systems roll-outs.
People and Talent
Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with risk and control partners.
Integrate currently separate teams of Data & DQMF, Analytics (including development and calibration) and Project management to best leverage existing talent and ensure smooth delivery of services to end users.
Ensure the provision of ongoing training and development of people, and ensure that holders of all critical functions are competent, suitably skilled and qualified for their roles ensuring that they have effective supervision in place to mitigate any risks.
Employ, engage and retain high quality people, with succession planning for critical role s.
Responsibility to review team structure/capacity plans and location strategy inline with cost efficiencies.
Set and monitor job descriptions and objectives for direct reports and provide feedback and rewards in line with their performance against those responsibilities and objectives.
Regularly and on a timely basis appraise performance as well as proactively manage attrition when needed.
Ensure regular and documented management meetings with direct reports.
Assess competency and skill of the team on an ongoing basis to ensure alignment of skill set to the risk management demands of the business.
Ensure teams are adequately resourced and capacitised.
In collaboration with relevant senior managers, support a programme for compliance surveillance across multiple channels (trade, written comms and voice comms).
Ensure effective management of compliance matters, and in collaboration with the rest of the Compliance team, effectively manage regulatory issues that have a significant impact on the Bank.
Collaborate with the other Products Compliance teams and the Compliance Management Group to anticipate horizon risks that may have a significant impact on the Bank and develop effective strategies to mitigate such horizon risks including global standards for conduct of business.
Provide reports to relevant Group and Business risk and control committees and management group on key risks and issues.
Maintain adequate management MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters are tracked, followed, regularly assessed and reported on.
Within the Group's overall Risk Management Framework, establish and maintain appropriate frameworks for identifying, assessing, managing, monitoring, mitigating and reporting risks in the systems and platform that support the surveillance program.
Attend relevant risk and governance related committees which include Surveillance Pg SC and Surveillance Steer-Co
Regulatory & Business Conduct
Display exemplary conduct and live by the Group's Values and Code of Conduct.
Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
Lead the team to achieve the outcomes set out in the Bank's Conduct Principles: Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.
Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Compliance Advisory team and Risk Owners
ITO for Surveillance and CFCC
ITO teams upstream, proving data; FM ITO, Technology Committee
Project Management Office
Help the Group meet its commitment of being "Here for Good" by building a sustainable compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct at the forefront of the Group's agenda
Support the management of the regulatory relationships with each of the regulators, whose rules the Group is subject to.
Overall leadership and functional responsibility for all members of the team.
Maintain constructive and effective relationships with all stakeholders and assist relevant Compliance heads to interface with and support all key business stakeholders.
Insofar as they relate to regulatory compliance, be responsible for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur and notifying any such breaches to Head Surveillance Compliance.
Maintain independence, deliver timely responses, and timely escalation of risks and issues where they feel risk management tolerance of the firm are exceeded.
Embed Here for good and Group's brand and values in the Surveillance Data and Analytics Team.
Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Apply now to join the Bank for those with big career ambitions.
To view information on our benefits including our flexible working please visit our career pages .